RB
Richard H. Brown
ONEAMERICA SECURITIES
Macon, GA 31204
Some features on this profile are disabled
CRD#: 2859906
RB
Professional summary
Richard Homer Brown, who also goes by Richard H Brown Jr, Richard H Jr Brown, Richard Homer Brown Jr, Rick Brown, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Macon, Georgia.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard H Brown Jr | Richard H Jr Brown | Richard Homer Brown Jr | Rick Brown
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Non-variable insurance sales (fixed life, fixed annuities, health)**President/Owner: Rick Brown & Associates, Inc. - fixed insurance sales**President/Owner: National Financial Group, LLC. - fixed insurance sales**President/Owner: RHB Investments, LLC - office building ownership**Board Member: Covenant Academy**Board Member: Destiny Life Ministries**Board Member: Westchester Hills - homeowners' association
CRS (Client Relationship Summary) - RIA
Click below to view Richard Homer Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Homer Brown's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 9, 2020 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 2034 Vineville Ave, Macon, GA 31204RIA
BD
CRD#: 4173
Macon, GA
Current
January 3, 2020 - Present
ONEAMERICA SECURITIES, INC.
Office #1: 2034 Vineville Ave, Macon, GA 31204RIA
BD
CRD#: 4173
Macon, GA
Past
December 12, 2017 - December 31, 2017
CREATIVEONE SECURITIES, LLC
RIA
CRD#: 152974
Macon, GA
Past
October 31, 2017 - December 31, 2017
CREATIVEONE SECURITIES, LLC
BD
CRD#: 152974
Macon, GA
Past
January 22, 2015 - December 8, 2015
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
MACON, GA
Past
December 12, 2014 - December 8, 2015
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
MACON, GA
Past
November 12, 2010 - October 31, 2014
SUNSET FINANCIAL SERVICES, INC.
RIA
CRD#: 3538
MACON, GA
Past
November 2, 2010 - October 31, 2014
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
MACON, GA
Past
April 12, 2004 - October 29, 2010
SPC
RIA
CRD#: 110692
MACON, GA
Past
October 30, 2002 - October 29, 2010
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
MACON, GA
Past
February 9, 1999 - August 6, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Alabama(8/29/2025)
IAR
Alaska(10/6/2025)
IAR
Arkansas(10/9/2025)
RR
Georgia(1/3/2020)
IAR
Georgia(1/9/2020)
IAR
Illinois(8/29/2025)
RR
Indiana(8/27/2025)
IAR
Indiana(8/28/2025)
IAR
Louisiana(9/2/2025)
IAR
Mississippi(9/2/2025)
RR
North Carolina(8/15/2025)
IAR
North Carolina(8/28/2025)
IAR
Pennsylvania(9/2/2025)
IAR
South Carolina(9/9/2025)
IAR
Texas(10/6/2025)
IAR
Wisconsin(9/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.
CRD#: 4173 / SEC#: 801-56819, 8-15009
RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
One American Square, Indianapolis, IN 46282
Mailing Address
One American Square P.o. Box 1984, Indianapolis, IN 46206-1984
Phone number
(317) 285-1877
Established
Indiana since 06/04/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
326
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN UNITED LIFE INSURANCE COMPANY | PARENT | |
| BICKEL, KORY LLOYD | CHIEF COMPLIANCE OFFICER | 5424722 |
| CAYETANO, NICHOLAS ADAM | AML OFFICER | 7237505 |
| FLEETWOOD, MATTHEW THOMAS | CHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR | 4109266 |
| HARTLEY, BRYAN KEITH | FINOP | 5664171 |
| HOYLE, JASON ANDREW | DIRECTOR | 6027238 |
| JUNKER, DAVID A | DIRECTOR | 2442538 |
| LIONBERGER, TAYLOR W | SALES DEVELOPMENT DIRECTOR | 5931321 |
| MCGOFF, SEAN PATRICK | CHIEF COUNSEL & SECRETARY | 5801826 |
| SANDELSKI, DENNIS JOSEPH | AVP, TAX | 7244469 |
| SMILEY, ERIC DAVID | VP, DIRECTOR OF OPERATIONS | 2978413 |
| SNYDER, DANIEL R | TREASURER | 7318687 |
| WEYER, SHAUN CHRISTOPHER | SALES DEVELOPMENT DIRECTOR | 4607359 |
| YANG, CHUANMING | CHIEF INFORMATION SECURITY OFFICER | 7527042 |
Regulatory assets under management
| Total Number of Accounts | 2,118 |
| AUM (Assets Under Management) | $ 299,940,768 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
